What Public Policy Is and How to Help Shape It

What Public Policy Is and How to
Help Shape It
David Bates, Meryl Bloomrosen, Doug Peddicord
AMIA Annual Symposium
Monday, October 24, 2011
12:00 -1:30 pm
www.amia.org
Overview of Workshop and AMIA’s
Public Policy Committee Activities
David Bates, MD, MSC
Chair, AMIA Public Policy Committee
Senior Vice President for Quality and Brigham and Women's Hospital
Chief of the Division of General Internal Medicine and Primary Care at Brigham and Women's
Hospital
Professor of Medicine Harvard Medical School
Professor of Health Policy and Management
Harvard School of Public Health
.
www.amia.org
Purpose of Workshop
• To provide information about health policy development
and implementation
• To provide an overview of federal and state regulatory
programs affecting the health care industry in general
and biomedical and health informatics in particular.
• To assist in the understanding of the purpose of policy
advocacy and AMIA's role in educating and influencing
policy makers
www.amia.org
Goals and Objectives
• By the end of the workshop, participants will be able to:
– Appreciate the complexities of federal policy making as it affects
biomedical and health informatics
– Respond to requests for comments about rules impacting
biomedical and health informatics
– Understand how individuals can impact decision-making about
biomedical and health informatics policy
– Utilize congressional visits to advance AMIA's policy agendas
– Understand how to take action to advance policy priorities that
impact biomedical and health informatics professionals
www.amia.org
Agenda
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12:00 - 12:30 Welcome and Introductions
AMIA’s Policy Program and Activities- David Bates
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12:30 - 1:00
How Policy is made Inside the Beltway- Doug Peddicord
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1:00 – 1:30
Responding to a Request for Comments – Meryl Bloomrosen
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1:30 pm
Adjourn
www.amia.org
AMIA Policy Activities
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Compile and Submit Official AMIA Comments
Conduct Congressional Visits
Conduct Policy Sessions at AMIA Educational Meetings
Conduct Corporate Policy Updates
Convene Invitational Policy Meetings and Develop Proceedings
Create Issue Briefs
Develop Position Papers
Host AMIA Hill Day
Mentor Policy Leaders
Monitor and Track Congressional Activities
Provide Testimony
Submit Nominations for Committees and Task Forces
Track Legislation of interest to Members and the Informatics Community
Track Federal Agency Activities
www.amia.org
Tracking Federal Activities
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ARRA, HITECH, Health Reform
– ONC Health IT Policy and Standards Committees
Guidelines, Rules, Regulations
– Meaningful Use
– Privacy and Security
– Metadata
– Common Rule
Increasing Efforts for Transparency and Accountability
www.amia.org
AMIA’s Public Policy Committee
• Makes recommendations to the BOD regarding
AMIA positions on public policy issues
• Oversees advocacy initiatives in support of AMIA
positions
www.amia.org
Purpose of AMIA’s Policy Meetings
• Convene diverse and multiple stakeholders on timely
and relevant informatics-related topics
• Identify specific areas and issues for future health policy
considerations
• Describe areas for further study or research
• Synthesize and disseminate the conference
deliberations, findings, and outcomes to inform the
policymaking process.
www.amia.org
2011-2012 Policy Priority Topics
• Ongoing Funding for Informatics Research, Innovation,
and Development
• Meaningful Use (MU)
• Ensuring safe, effective use of health IT and electronic
health records (EHRs)
• Informatics and Health IT Workforce (includes
education and training)
• EHR Best Practices, Lessons Learned and Successes
• EHR Evaluation
• EHR Usability
• Evolution of Clinical Decision Support
www.amia.org
AMIA’s Health Policy Meetings
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2006: Toward a national framework for the
secondary use of health data: an American Medical
Informatics Association White Paper
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2007: Advancing the framework: use of health data-a report of a working conference of the American
Medical Informatics Association
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2008: Informatics, evidence-based care, and
research; implications for national policy: a report
of an American Medical Informatics Association
health policy conference.
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2009: Anticipating and Addressing Unintended
Consequences of HIT and Policy
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2010: The Future of Health IT Innovation and
Informatics
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2011: The Future Form and Function of Clinical
Data Capture and Documentation
www.amia.org
Policy and Politics:
How the Legislative and Regulatory
Processes Work – And How to Influence
Them
Doug Peddicord, PhD
President
Washington Health Strategies Group
www.amia.org
Authority and Organization of the
Legislative Branch
• Organization of Legislative Branch
– Senate: 100 members, 6-year terms
– House of Representatives: 435 members, 2year terms
– Committees (Committee and Subcommittee
Chairs hold the power – and usually a
Member is only as powerful as the Committee
he/she sits on)
www.amia.org
Key Committees: Senate
• Finance
– Jurisdiction
– Leadership
• Health, Education, Labor, Pensions (HELP)
– Jurisdiction
– Leadership
– Members
• Appropriations
- Subcommittees (the Cardinals)
www.amia.org
Key Committees: House
• Ways and Means
- Jurisdiction
- Leadership
• Energy and Commerce
– Jurisdiction
– Leadership
• Appropriations
– Subcommittees: e.g., Defense, Labor HHS,
Agriculture and FDA (member-directed funding; aka
‘earmarks’)
www.amia.org
How a Bill Becomes a Law
• Introduction of bill by member
• Sponsors and co-sponsors
• Consideration by committee
– Public hearings
– Markups
– Final committee action
• Floor debate
• Vote
• Conference – and vote again
• Send to President for signature
www.amia.org
How A Bill Becomes A Law (Part 2)
• Ways to shorten the process
– Unanimous Consent
– Christmas Trees
– ‘Must pass’ legislation (often with an
associated crisis; e.g., govt. shutdown)
– Differences between the Senate (filibuster)
and the House
– And there are still rules (e.g., the Byrd
amendment)
www.amia.org
Source: http://www.cyberlearningworld.com/lessons/civics/lp.bill_to_law.htm
net.org/i4a/pages/index.cfm?pageid=291
www.amia.org
Who Influences Public Policy?
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White House
Executive branch
Congressional Members, Committees, Staff
Government Accountability Office (GAO)
Congressional Budget Office (CBO)
Political parties
Media, pundits, and public opinion research firms
Political Action Committees (PACs)
Interest and advocacy groups and “influentials”
Professional associations
Individuals – “we the people”
www.amia.org
Where are the policy analysts?
(wonks)
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Congressional staff
Federal and state agency staff
Lobbying firms
Think tanks
Academic policy shops
Consulting firms (contract research)
Professional associations
Trade and advocacy associations
www.amia.org
Role of Independent Advisory Bodies in
Health Policy
• Institute of Medicine
– Chartered by Congress under President Lincoln to
provide independent advice to government and
industry
– Expert committees are formed to address specific
issues, sometimes by Congressional mandate
– National Academies Press publishes reports
• National Committee on Vital and Health Statistics
(NCVHS)
– Statutory public advisory body to HHS since 1949
– Restructured in 1996 under HIPAA
– National Health Information Infrastructure (NHII):
Information for Health, 2001
www.amia.org
IOM and National Research Council
(NRC) Reports
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The Computer-based Patient Record: An Essential Technology For Health
Care (1991)
Health Care In The Information Age: Use, Disclosure, And Privacy (1994)
Telemedicine: A Guide To Assessing Telecommunications For Health Care
(1996)
To Err Is Human: Building A Safer Healthcare System (1999)
Key Capabilities Of An Electronic Health Record System (2003)
Patient Safety: Achieving A New Standard For Care (2003)
The Computer-based Patient Record (2004, 2nd Edition)
Preventing Medication Errors: Quality Chasm Series (2006)
The Learning Healthcare System: Workshop Summary (2007)
Computational Technology For Effective Health Care (CSTB, NRC), 2009
See www.nap.edu or www.iom.edu
www.amia.org
Other Advisory Bodies in Health IT
• Presidential, Congressionally-mandated and Secretarial
Advisory Committees
– Commission on Systemic Interoperability (CSI) mandated
by Medicare Modernization Act, 2003; report in 2005
(www.endingthedocumentgame.gov)
– American Health Information Community (AHIC) (2005-08)
• American Reinvestment and Recovery Act (2009) created
advisors to Office of the National Coordinator for Health IT
(ONC)
– Health IT Policy Committee
– Health IT Standards Committee
www.amia.org
How can you get involved in the policy
process?
• Participate in Congressional and agency fellowships
• Write reports and publish online (such as journals,
blogs, newspaper commentary)
• Participate on advisory committees and coalitions
• Write opinion pieces and letters to editors
• Become a media source
• Conduct media briefings and Editorial Board meetings
• Get involved with issues at federal, state, and local
levels
– Testimony on local issues
– Visits with legislators
– Organize an e-mail or letter-writing campaign
www.amia.org
Get involved with your professional
organization
• Congressional education and advocacy (e.g.,
Hill Day)
• Professional identity as experts bring
credibility as “trusted advisors”
• Resource for staff and members of Congress
• Meet with your Members to discuss state and
local issues
• Represent AMIA members’ interests: public face
of the profession
www.amia.org
Making Legislation Happen – Or Not
• Find a champion for your point of view
(Members matter) – e.g., AMIA 10 X 10
• Make connections – constituents, grassroots
contacts and personal relationships make a
difference
• Work the bill – provide letters of support, provide
testimony, recruit co-sponsors
• Be clear on your ‘asks’ – amend when you can,
support or oppose when the time comes
www.amia.org
Being A Resource (Staff Matter Too)
• Establish credibility (answer two questions)
– What do you want?
– Who won’t like it?
– Anecdotes and hard data both matter (but brevity is
always key; one-pager is a term of art on the Hill)
– When asked, provide feedback (opinions, examples,
answers, alternatives) immediately – 12 to 24 hours
used to be good enough; in the age of smart phones,
try 2 to 3 hours – being timely is as important as
being right
www.amia.org
Know Where You Are In The Process
• Proposing new legislation
• Commenting on draft legislation
• Commenting on (proposing amendments to)
introduced legislation
• Testifying on introduced legislation
• Supporting/opposing a bill
• Doing all of the above as an individual, a
professional organization, or as part of a
coalition, (sign-on letters)
www.amia.org
After Legislation Becomes Regulation
• The regulatory process is more open and
transparent – primacy and recency are less
important (but you still have to show up!)
• Establishing relationships within the regulatory
agencies is more likely to be based on expertise;
it’s time to check your passion at the door
• Precision and clarity are key – think like a lawyer
(or an English major)
• Be thorough – and respond within the time
allowed
www.amia.org
From Legislation To Regulation
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Notice of Proposed Rule Making (NPRM)
Interim Final Rule
Final Rule
Guidance
FAQs
Generally there is a Comment period – and often
AMIA looks to weigh in
www.amia.org
ARRA and HITECH
• The legislative process on steroids: the 111th
Congress convened on January 6, 2009 – and
the President signed a $787 billion ‘stimulus bill’
on February 17
• The House – Ways & Means (Medicare) and
Energy & Commerce (Medicaid) takes the lead
• Focus on ‘shovel ready’ infrastructure projects –
and HIT (!)
www.amia.org
ARRA and HITECH
• AMIA’s interests:
 ONC
 HIT incentives
 HIT standards
 Workforce
 ‘Meaningful use’
 Privacy
www.amia.org
HIPAA 2 (selected provisions)
• BAs subject to Security and (relevant provisions
of) Privacy Rules; FTC jurisdiction over PHR
vendors
• Breach reporting (secured vs. non-secured PHI)
• Accounting for TPO disclosures
• Marketing and fundraising restrictions
• Minimum necessary and de-identification
guidances
• Self-pay disclosures (healthcare ops)
www.amia.org
Other AMIA Policy Activities 2011
• 19 participants for 38 Hill Day meetings
• Approximately 15 additional Congressional and
Administration contacts
• HIT Policy and Standards Committees, Tiger
Team
• Labor-HHS Appropriations Committee report
language re: the NLM
www.amia.org
Selected AMIA Submissions
Submitted written comments to the following (from among an astonishing number of
guidances, proposed regs, reports, etc. issued):
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Common Rule – HHS OHRP (pending)
FDA Guidance on Mobile Medical Apps October 2011
Presentation to FDA on CDS September 2011
HHS OCR HIPAA Privacy Rule Accounting of Disclosures NPRM August 2011
CMS Proposed Rules for ACOs June 2011
President's Letter to ONC Regarding Vendor Agreements June 2011
NQF Quality Data Model May 2011
Federal Health IT Strategic Plan May 2011
eMeasures, to NQF April 2011
NINR Draft Strategic Plan 2011 March 2011
Federal Health IT Standards Activities March 2011
Meaningful Use Stage 2 February 2011
PCAST Report January 2011
Personal Health Records December 2010
NQF Common Format, Device or Medical/Surgical Supplies November 2010
www.amia.org
A Few Last Thoughts
• Public policy advocacy is a contact sport: inperson, by phone, by e-mail: “ninety percent of
life is just showing up”
• Primacy and recency are powerful determinants
of influence, as is repetition
• What’s important? Connections (personal,
constituent) – expertise – responsiveness –
credibility
• Participation (Hill Day, for example) is essential
www.amia.org
Preparing a Response to
A Request for Comments
Meryl Bloomrosen
AMIA Vice President
Public Policy And Government Relations
www.amia.org
Rulemaking Process
After Congressional bills become laws, federal agencies put laws into
action through regulations. This process may include the following
steps:
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An agency initiates a rulemaking activity, and adds an entry to its
Regulatory Agenda
A rule or other document is published to Regulations.gov
The public is given the opportunity to comment on this rule for a specified
timeframe
Final rules can be accessed on Regulations.gov
Rules are published every business day by the National Archives and
Records Administration in the U.S. government's Federal Register.
www.regulations.gov
www.amia.org
What is the Regulatory Agenda?
• Twice a year in the Spring and Fall, each agency publishes a
Regulatory Agenda (also known as the Unified Agenda or SemiAnnual Agenda).
• The Regulatory Agenda provides information about regulations that
each agency plans to issue or has recently completed.
• Each agency's Regulatory Agenda lists all the rulemaking
proceedings that are planned, underway or recently completed.
Individual entries contain a variety of information about each rule,
including:
– Brief description (abstract) of the rule
– Timetable showing any past or projected actions in connection
with developing the rule
– Contact person for further information
– Potential effects of the rule and related matters
www.amia.org
How to Comment on Proposed
Regulations
• Regulatory agencies publish rules that establish or modify the way
they regulate their respective programs.
• Agency rules have considerable impact on the nation's health,
industries and economy. These rules are not created arbitrarily or in
a vacuum. They are formed with the public's help.
• By law, anyone can participate in the rule-making process by
commenting in writing on rules proposed.
• Agencies routinely allow plenty of time for public input and carefully
consider these comments when they draw up a final rule.
• Agencies typically gather public comments through proposed rules.
www.amia.org
Proposed Rules Process
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When an agency plans to issue a new regulation or revise an existing one, it
places an announcement in the Federal Register on the day the public
comment period begins.
Published every weekday, the Federal Register is available at many public
libraries and colleges, and on the government websites.
Issues open to public comment often are reported by the news media and
can also be found on agency's Website. Instructions for finding Federal
Register documents and submitting comments are found on the Federal
Dockets Management System Instruction Sheet.
When submitting a comment by mail or in person, you do not need to follow
any special style. If the comment is written legibly or typed on standard 81/2 inch by 11 inch paper, however, agencies can process the comment
more effectively.
www.amia.org
Proposed Rules Process con’t
• In the Federal Register, the "notice of proposed rulemaking"
describes the planned regulation and provides background on the
issue. It also gives the address for submitting written comments and
the name of the person to contact for more information.
• Also noted is the "comment period," which specifies how long the
agency will accept public comments.
• Usually, the file--or docket--stays open for comments at least 60
days, though some comment periods have been as short as 10 days
or as long as nine months. Weekends and holidays are included in
the comment period.
www.amia.org
www.amia.org
Sample MU Comments Timeline
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January 13-Proposed and interim final rules on meaningful use (MU) and
EHR certification standards formally published.
January 13- March 14 (or March 15)- 60 day comment period
January 15- AMIA will provide a brief summary of each rule
January 19 – Webinar for AMIA members
January 26- Issue discussed at the BOD January meeting
February 5- WGs submit their draft comments to PPC (via Meryl)
February 15- Prepare initial draft of an AMIA comment
February 23- AMIA BOD review and approval of initial working DRAFT
March 1-10 - Iterations/edits of succeeding drafts
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March 12/13- Submit AMIA response to DHHS within the 60 days
www.amia.org
www.amia.org
AMIA’s MU Comments
• General Comments
– AMIA strongly believes that three principles are
essential to achieving meaningful use of certified
electronic health record (EHR) technology:
• we must invest in people, as well as technology
• users need EHR systems that provide cognitive
support and evidence-based functionalities
• adoption of EHR systems requires a balancing of
benefits and burdens that users will accept
www.amia.org
AMIA’s MU Comments cont’d
• Federal Leadership Role
– assure that HIT is seen as a strategic driver of health
system strengthening – but HIT is certainly not the
entire solution,
– payment incentives should avoid fostering
“technology for technology’s sake,”
– encourage EHR system designers and implementers
to focus on the use of HIT to contribute to the ultimate
goal of improvement in outcomes.
www.amia.org
AMIA’s MU Comments cont’d
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Provisions of the Proposed Rule on Which Comments are Specifically Requested
– agree that the reporting period for year 2 and thereafter should be the full year
– support the decision that hospitals deemed as meaningful users by Medicare would not have
to meet any state-specific additional requirements in order to qualify for the Medicaid
incentive payment – Meaningful Use should be a national, not state-by-state, objective
– support the HIT Policy Committee recommendation that CMS allow some flexibility in the “allor-nothing” approach to earning meaningful use incentives, “while preserving a floor of
important mandatory functional use requirements
– believe that CPOE should, ultimately, include electronic transmittal of the order, and agree
with the rule’s decision to defer this requirement during Stage 1.
– suggest that recording of advanced directives be included as an MU criterion for hospitals
only in Stage 1
– believe that MU criteria specific to research should be included during Stage 2 and Stage 3
– concerned that the capture of relevant data elements, e.g., numerators and denominators, is
likely to be a significant burden for participating EPs and hospitals
– agree and appreciate that there should not be a higher standard in 2015 for an early adopter
in comparison to requirements imposed on late adopters
www.amia.org
At a minimum, clinicians and
hospitals will need the following
technologies, services, or
capabilities
• EHR system capable of
• basic electronic medical record creation
and maintenance
• health information exchange
• CPOE system with
•electronic prescription capability (if
applicable)
• ability to maintain electronic formulary
• Drug-drug, drug allergy checks
• Active medication list
• Active allergy list
• Clinical decision support platform
• Robust network connection/service
• Quality measures
•Security capabilities
• Secure platform
•Review and analysis
• Updates
www.amia.org
Commenting with Impact
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Clearly indicate if you are for or against the proposed rule or some part of it
and why. Agency regulatory decisions are based largely on law and science,
and agency reviewers look for reasoning, logic, and good science in
comments they evaluate.
Refer to the docket number, listed in Federal Register notice.
Include a copy of articles or other references that support your comments.
(Electronic attachments will not be forwarded if the "Comment" box is left
empty.)
Only relevant material should be submitted. If an article or reference is in a
foreign language, it must be accompanied by an English translation verified
to be accurate. Translations should be accompanied by a copy of the
original publication.
To protect privacy when submitting medical information, delete names or
other information that would identify patients.
Comments must be postmarked, electronically submitted or delivered in
person by the last day of the comment period.
www.amia.org
Commenting Tips and Techniques
• The drafting of regulatory comments is best thought of as a relatively
‘technical’ process.
• This is not the time to ‘argue’ with the underlying legislation or wax
either poetic or emotional. Regulations are usually about ‘facts and
data’ and so too should comments.
• Typically an AMIA comment will use real-life hospital or practice
examples, of course, but its tack will be aimed more at influencing
‘good’ HIT policy than at ‘correcting’ regulatory errors that would
have specific impact on particular stakeholders.
• Look especially at topic items for which the Agency/Department has
requested comments.
www.amia.org
Tips and Techniques con’t
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Distinguish between parochial comments that might be offered by you as an
individual, or you as an employee of a particular organization (relating to Medicare
fee schedules for instance), from comments that might better reflect AMIA’s position
as a thought-leader on HIT and the uses of health information.
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To the extent possible, make your comments specific and detailed; don’t say, ‘these
23 meaningful use criteria are too ambitious’, but rather ‘this specific measure may be
gatherable in the hospital setting, but would be problematic in the outpatient setting
for the following reason (s)…’.
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Give examples to back up or support your comments. Be specific. Personal
experiences are particularly effective, and often moving. Share them!
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Marshall Facts: Your argument—and you are making an argument—must be
supported by facts. Don't copy and paste paragraphs of pre-written text from form
letters or blogs or others’ documents. Don't misrepresent your position - decisions
should be based on sound data and accurate facts.
www.amia.org
Tips and Techniques con’t
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Clearly State Your Suggestion/Position/Request. Be specific. Clearly
illustrate your support or opposition for the “regulation” or “particular
provision”.
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Use non-technical words and avoid jargon or complex medical or technical
terms. Cite the specific sections of regulations when commenting about
them.
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Try not to develop your input based only on other people’s summaries or
news reports of what the regulations say.
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Try not to cherry-pick words or phrases here and there; there are many
tables in the draft regulations that briefly lay out the proposed criteria and
standards – it may be particularly useful to provide input based on those.
www.amia.org
Addressing Correspondence
To a Senator:
To a Representative:
The Honorable (full name)
__(Rm.#)
__(name of) Senate Office Building
United States Senate
Washington, DC 20510
The Honorable (full name)
__(Rm.#)
__(name of) House Office Building
United States House of Representatives
Washington, DC 20515
Dear Senator:
Dear Representative:
Note: When writing to the Chair of a Committee or the
Speaker of the House, it is proper to address them as:
Dear Mr. Chairman or Madam Chairwoman or Dear Madam
Speaker or Mr. Speaker
www.amia.org
Selected Resources
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Contact your Senator
http://www.senate.gov/general/contact_information/senators_cfm.cfm
Contact your Representative www.house.gov/house/Member
Congressional Schedule http://clerk.house.gov/legislative/
Electronic Code of Federal Regulations
http://ecfr.gpoaccess.gov/cgi/t/text/text-idx?c=ecfr&tpl=%2Findex.tpl
Federal Regulations www.regulations.gov/search/Regs/home.html
How Our Laws are Made http://thomas.loc.gov/home/lawsmade.toc.html
Legislative Schedule
www.senate.gov/pagelayout/legislative/d_three_sections_with_teasers/cale
ndars.htm
Library of Congress http://thomas.loc.gov/
www.amia.org
More Resources
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“Landmark: The Inside Story of America's New Health Care Law and What It
Means for Us All” by the Staff of the Washington Post
“The Dance of Legislation: An Insider's Account of the Workings of the
United States Senate” by Eric Redman
Health Reform Implementation Timeline. April 2010. Kaiser Commission on
Medicaid and the Uninsured, Kaiser Family Foundation. Available at:
http://www.kff.org/healthreform/upload/8060.pdf
Summary of New Health Reform Law. April 2010. Kaiser Commission on
Medicaid and the Uninsured, Kaiser Family Foundation. Available at:
http://www.kff.org/healthreform/upload/8061.pdf
www.amia.org
Selected Acronyms and Abbreviations
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AHRQ: Agency for Healthcare Research and Quality
ARRA: American Recovery and Reinvestment Act
BA: Business Associate
CDC: Centers for Disease Control and Prevention
CE: Covered Entity
CER: Comparative Effectiveness Research
CMS: Centers for Medicare and Medicaid Services
FDA: United States Food and Drug Administration
FHA: Federal Health Architecture
HHS: United States Department of Health and Human Services
HIE: Health Information Exchange
HIPAA: Health Insurance Portability and Accountability Act [of 1996]
HITECH: Health Information Technology for Economic and Clinical Health Act
HRSA: Health Resources and Services Administration
IOM: Institute of Medicine
MU: Meaningful Use
www.amia.org
Selected Acronyms and Abbreviations
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NCI: National Cancer Institute
NCHS: National Center for Health
NCRR: National Center for Research Resources
NCVHS: National Committee on Vital and Health Statistics
NHIN: National Health Information
NIH: National Institutes of Health
NIST: National Institute for Standards and Technology
NLM: National Library of Medicine
NPRM: Notice of Proposed Rulemaking
OCR: Office of Civil Rights
ONC (ONCHIT): Office of the National Coordinator for Health Information Technology
ONC-ATCB: ONC-Authorized Testing and Certification Bodies
PHI: Personal Health Information or Protected Health Information
PHR: Personal Health Record
REC: [Health Information Technology] Regional Extension Center
www.amia.org
Thank You!
Contact
Meryl Bloomrosen
Vice President for Public Policy and Government Relations
AMIA
4720 Montgomery Avenue, Suite 500
Bethesda, MD 20814
301.657.1291
[email protected]
www.amia.org